Local Law 11 of 1998 - Facade Inspection & Safety Program (FISP)

Facade Inspection Requirements

To keep buildings safe, owners of properties seven stories and higher must have exterior walls and appurtenances, such as balconies, inspected every five (5) years – and they must file a technical façade report with the Department. 
 
Property owners must repair dangerous conditions within 90 days of filing a technical report.  Once the work is finished, owners must file an amended report within two weeks. 

Recently the DOB has strengthened its facade inspection process — enhancing protocols and enforcing swift consequences — and expanded its facade inspection staff. You can read more about these enhanced protocols here

Facade Cycle 9 Dates

How do I submit a Façade Inspection Report? 

Facade Inspection Reports must be submitted by QEWIs (Qualified Exterior Wall Inspector) on DOB NOW: Safety.  

OR 

RDPs: Registered Design Professionals must have and show their DOB-issued ID card -1 when they submit their registration at the LAA/Permit Renewal and Hub Authentication Unit Customer service window. 

Or they can use the Mail-in process for Design Professionals:  

Design Professionals must follow the enrollment process outlined in the DPL-1 form.  

This form must be mailed or delivered to: 

New York City Department of Buildings 
LAA/ Permit Renewal and Hub Authentication Unit 
Attn: eFiling 
280 Broadway, 5th Flr. 
New York, New York 10007 

Building owners must open a Department e-Filing account to give consent to all the QEWI’s reports.   

Once the report has been submitted, it follows an internal process beginning with an Administrative Review, followed by a Plan Examiner Review, and then either an Accepted or Rejected disposition. 

Unsafe conditions must be corrected within 90 days of filing a report with an Unsafe status.  An amended report must then be filed within two weeks of completing the repairs. 

Filing Fees 

Facade Inspection Results

A Qualified Exterior Wall Inspector or (QEWI) will issue one of three results from a Facade Inspection: 
 
Safe 

• no problems, and in good condition  

SWARMP 

• (Safe With a Repair and Maintenance Program)  

• No unsafe conditions - if all repairs aren’t completed before the next cycle, that next report must be filed as Unsafe  

Unsafe 

• Problems/defects threaten public safety  

• Owners must immediately install protection (sidewalk shed, construction fence, etc.) to prevent public harm  

• Owners must repair dangerous conditions within 90 days of filing a technical report  

• Owners must file an amended report within two weeks of completing the repair work 

With an Unsafe classification, the owner must immediately install protection, such as a sidewalk shed, construction fence, etc: 

• Dangerous conditions must be repaired within 30 days of filing a technical report. Owners must file an amended report within 14 days after the repairs are completed.

• Owners may request an extension if the repairs cannot be completed and the report cannot be filed within 44 days from the initial filing date

Why is it important to stay on top of façade inspections?

In 2015, a number of DOB-ECB violations were issued relating to missing or unsafe façade inspections. These violations were in addition to assessed civil penalties of up to $1,000 per month. Regulation and enforcement for façade inspections is increasing with each cycle, so it’s critical to keep track of changes to any requirements. Failure to maintain compliance with façade inspections may cause the building to be liable in the case of any accidents or emergencies involving the building’s exterior and appurtenances.

First Inspections for New Buildings

Click here for the full initial facade law, including details on filing an initial report for new buildings - (b)(4)(vii)(A, B)

Initial reports for new buildings greater than six stories in height shall be filed as follows:
(A) The report shall be filed five years from the date the first Temporary Certificate of Occupancy or Certificate of Occupancy was issued, if that five year date falls within the applicable filing window according to the last digit of the building’s block number as provided in subparagraph (v) or (vi) of this paragraph; or
(B) If five years from the date the first Temporary Certificate of Occupancy or Certificate of
Occupancy was issued falls outside the applicable filing window according to the last
digit of the building’s block number as provided in subparagraph (v) or (vi) of this paragraph, then the initial report shall be filed within the applicable two-year filing window for the next five-year cycle.

What will happen if I don’t submit a Façade Inspection report? 

The Department of Buildings issues façade inspection violations for the failure to file and/or the late filing of a façade inspection report. These violations are listed as "FISPNRF - NO REPORT AND / OR LATE FILING (FACADE)" in the DOB database and in SiteCompli.

Penalties apply after the filing period ends:

Late Filing (initial report) - $1,000 per month
Failure to File (initial report) - $5,000 per year
Failure to correct unsafe conditions - See the penalty schedule in RCNY 103-04 (attached)
Failure to correct SWARMP conditions - $2,000

Please note that because these violations are administratively issued, an original violation notice will be mailed to the building owner of record, but no violation copies are available from the DOB. You can visit the DOB Local Law Façades Unit at 280 Broadway, 4th Floor, or contact them directly at (212) 788-7034 to determine the total fine amount owed for this violation.

To close a façade inspection violation, you must have completed and submitted the required façade technical report, after which the following documentation must be provided to the DOB Local Law Façades Unit:

• Proof of compliance (stamped report copy or DOB BIS printout of accepted façade report record)

• Printout from DOB BIS system of the violation record

• Certified check or money order payable to the Department of Buildings for the civil penalty owed for late filing and/or failure to file.

Older facade violations may be shown as LL 11/98 infractions.

Please note that in some cases, the DOB has also issued ECB violations for failure to file, or for filing Unsafe inspections.

FISPHAZ / HAZ Violations

From the DOB facade division, directly:

A HAZ  Violation is a way of monitoring all unsafe buildings that submitted an unsafe report automatically get a DOB HAZ VIOLATION. There is no money assigned. Just fill out an extension of time or amended report saying there is no more unsafe condition on the façade. Once the report is accepted and the status change form unsafe (to safe or swarmp) then the DOB Violation will be dismissed.

For example, if a building receives a violation including the letters HAZ, they likely filed an Unsafe report (and saw a violation backdated to the subcycle due date). In order to fix the violation per the above, an Amended Technical report must be submitted to the DOB. Depending on the date of submission (if 30 days after the initial filing date), late fees may be required.

Challenging Facade Violations

You may challenge this façade violation and civil penalty by providing proof of compliance or documentation that the building is 6 stories or less and is not subject to a mandated periodic inspection. You may also submit a Façade Waiver of Civil Penalties Form to request a waiver of penalties under certain other requirements noted in RCNY 103-04, such as building demolition prior to the filing deadline, or certain change of ownership conditions.

Additional information 

Buildings with ongoing construction work cannot be designated as Safe.  

If your facade was classified as SWARMP in the previous cycle, all necessary repairs must be completed before the next cycle. If they’re not completed, the facade must be classified as Unsafe.

Coordinate report submission with your building’s QEWI (Qualified Exterior Wall Inspector). You’ll need to register with e-Filing (if you haven’t already) to review submitted reports.